Demystifying Pay-to-Play
SEC Rule 206(4)-5: Are you compliant?
Recorded on Nov. 8, 2011
Lobbyists.info
Columbia Books & Information Services
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The Securities and Exchange Commission (SEC) Rule 206(4)-5 went into effect on March 14, 2011 and has had a big impact on the PAC community. The rule places prohibitions on services provided to a government entity and campaign donations, as well as the use of third-party solicitors, and bundling efforts by those who may be seeking government contracts. 


Groups continue to petition the SEC to “correct” Citizens United and impose harsher regulations on political contributions, contending that stricter SEC disclosure rules are necessary to make sure ties between money and reciprocal actions are receiving increased scrutiny.


Listen in to the recording to gain practical knowledge and real life examples about what political activities are permitted and what disclosures are required, as well as an update on proposed and pending action.


What You'll Learn

  • New developments on “pay to play” regulation from the SEC and an broad review of states and localities around the country
  • Best practices in designing and implementing compliance programs
  • Current rules prohibitions and limitations applicable to registered lobbyists
  • An overview of potential changes and reforms in the near future


Meet Your Training Team
Kelly Eaton, PAC Manager, Prudential Financial, Inc
Kelly Eaton manages the Political Action Committee and political programs for Prudential Financial, Inc.  She is responsible for re-branding and growing their PACs through daily administrative operations of Prudential’s federal and state political action committees.  Kelly works in the External Affairs department and with Prudential’s business units throughout the year engaging members, employees and stakeholders.

Lawrence Norton, Partner, Womble Carlyle
Larry Norton counsels clients on government regulation of political activity, including federal and state campaign finance, government ethics, and lobbying laws.  From 2001 to 2007, Larry served as General Counsel of the Federal ElectionCommission, where he helped lead the 130-person Office of General Counsel in conducting investigations, advising the FEC in connection with rulemakings and Advisory Opinions, overseeing all of the FEC’s litigation, and counseling on issues relating to FEC audits and federal funding of Presidential primary and general elections.

Don't wait, order the recording today to stay up-to-date on the latest regulations and avoid loss of contracts, restricted political activity or even jail time.



Qty.PriceStanding OrderProduct Name
$247.00   Demystifying Pay to Play: CD Recording